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The educational partnership gives RIAs complimentary access to a DACFP intro course.

Adam Spigelman is the vice president of retention at Planet Home Lending

A new SE-AWMA designation has added a ninth module or standalone class for professionals working with high net worth clients.

Some of the wirehouse's advisors marketed and sold a complex options trading vehicle without adequately understanding its risks, according to the regulator.

The ultrawealthy love niche investments, but not hedge funds.

The agency is continuing its focus on firms that have never been examined, including recently formed ones.

Thomas Reid is senior consultant at LibertyFi, where he manages the billing for its partner firms executed through the Envestnet platform. Previously, he worked in SEC compliance and regulatory reporting at two large regional banks headquartered in Birmingham, Alabama.

An independent investigation found no evidence of a pact with Wells Fargo’s attorney but omitted mention of the other big questions emanating from the case.

J.P. Morgan senior executive Kelli Keough dissected the artificial opposition between digital tools and human advice at FP’s recent INVEST 2022 conference.

Zack Scott serves as Management Consulting’s Strategy Lead for Financial Services International at digital consultancy Publicis Sapient, delivering large-scale digital transformation programs across EMEA. Previously, he was Principal at Oliver Wyman within the financial services practice, investment analyst at Hay Creek Hospitality and he’s on the Board of Trustees of Wyman Worldwide Health Partners.